AWARD FINRA DISPUTE RESOLUTION In the Matter of the Arbitration Between: Oppenheimer & Co., Inc., (Claimant) vs. Peter Balint (Respondent) Case Number: 08-04684 Hearing Site: New Yori< , New Yort^ NATURE OF DISPUTE: Member v. Associated Person REPRESENTATION OF PARTIES Claimant Oppenheimer & Co., Inc., hereinafter referred to as "Claimant": John McGuire, Esq., Oppenheimer & Co., Inc., New Yort^, NY. Respondent Peter Balint did not enter an appearance

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: John Deakin (Claimant) v. J.P. Turner & Company, L.L.C., Reagan Financial Group, James R. Pecoraco, and John L. Parmigiani (Respondents) Case Number: 08-00752 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member, Associated Persons, and Non-Member. Claimant John Deakin hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., The Guiliano L

Award FINRA Dispute Resolution In the Matter of the Arbitration Between; Leslie Cox-Colon (Claimant) vs. Citigroup Global Markets, Inc. f/k/a Solomon Smith Barney, Inc., and Loretta Chiofblo (Respondents) vs. Juan Colon-Collazo (Third Party Respondent) Case Number: 07-00945 Hearing Site: New York, New Yori< Nature of the Dispute: Initial claim: Customer vs. Member and Associated Person. Third Party claim: Member and Associated Person vs. Associated Perso

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04361 David Durdon Name of the Respondent Hearing Site: Baltimore, Maryland Scottrade, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For David Durdon, hereinafter refenred to as "Claimanf: invin G. Stein, Esq., Investors Recovery Service, Novate, Califomia. For Scottrade, Inc., hereinafter referred to

Award FiNRA Dispute Resoiution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-04616 Ravindra Sheth Name of the ResDondent Hearing Site: Atlanta. Georgia E^Trade Securities LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Ravindra Sheth ("Sheth"): Emory A. Wyant, Jr., Strong, Stevens & Wyant, Playmouth Meeting, Pennsylvania until on or about March 27, 2009; thereafter. C

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-03486 Banco Industrial De Venezuela Miami Agency Name of the Respondent Hearing Site: Miami. Florida Citigroup Global Maricets, Inc. (d/b/a Citi Smith Barney) Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Banco Industrial De Venezuela Miami Agency, hereinafter refened to as "Claimant": Barton S. Sac

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 08-01862 Charles Smith Name of the Respondent Hearing Site: Atlanta, Georgia Morgan Keegan & Company, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Claimant Charles Smith: Richard S. Frankowski, Burke Harvey & Frankowski, LLC, Binningham, Alabama. For Respondent Morgan Keegan & Company. Inc.: Peter S.

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-03558 Jules A. Fox Names of the Respondents Hearing Site: Boca Raton, Florida Brookshire Securities Corporation NEXT Financial Group, Inc. John Raphael Boeike, Jr. Timothy Buri^e Ruggiero Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Jules A. Fox, hereinafter referre

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02809 Oppenheimer & Co., Inc. (Claimant) vs. Michael J. Wheatley (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared John T. McGuire, Esq., Oppenheimer & Co . Inc.. New York. NY Respondent appeared pro se, Southgate. KY. NATURE OF DISPUTE: Member v. Associated Person DATE FILED: May 15, 2009 CASE SUMMARY: Claimant asserted the following cause of action: breach of Promissory Notes. Claim Data C

AWARD FINRA DISPUTE RESOLUTION CASE: 09-02682 Michael A. Matras Trustee/Michael A. Matras Revocable Trust (Claimant) vs. Banc of Amehca Investment Services and Michael Cischke (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Pompano Beach. FL. For Respondents appeared Abby N. Ruth, Esq., Fulbright & Jaworski, L.L.P.. Dallas. TX. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: May 8. 2009 CASE SUMMARY: Claiman